Search suggestions:

hiring immediately
part time
full time
remote work from home
warehouse
manager
remote
medical assistant
work from home
retail sales associate
night shift
receptionist
fedex
Houston County
Los Angeles County
Texas
New York
California
Florida
Oklahoma
South Carolina
Wisconsin
Tennessee
Arizona
Minnesota
Apply

Supervisory Control Associate

Wells Fargo
$55,300 - $98,300 a year
St. Louis, Missouri
Full time
5 days ago

About this role:

Wells Fargo Advisors (WFA) is seeking a Supervisory Control Associate responsible for direct support of branches and their responsibilities for remote compliance supervision of Private Client Group (PCG) and Wealth Brokerage Services, (WBS) producing Branch Managers, and Financial Advisors. Learn more about the career areas and lines of business at www.wellsfargojobs.com

In this role, you will:

  • Participate or conduct compliance, supervision, control reviews, administration and technology

  • Design risk processes and provide project management support

  • Identify issues and provide resolution within Insurance or Private Client Groups

  • Perform basic or tactical ongoing regulatory, compliance and operational reviews as well as other duties related to best practices and opportunities for additional synergies to maximize efficiencies

  • Receive direction from management and exercise independent judgment while developing an understanding of sales activities using various technological tools and reports to ensure that the activity is in compliance with all regulatory and firm policies

  • Collaborate and consult with financial advisors, branch managers, supervisory principals and Market Administration Management

Required Qualifications:

  • 6+ months of Supervisory Control, Risk Management Consulting, Property or Casualty Insurance, Insurance Brokerage experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

  • US Only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 and 63 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration

Desired Qualifications:

  • Strong analytical skills including strategically analyzing data, diagnosing opportunities, and providing interventions

  • Solid conflict management and decision-making skills

  • Excellent verbal, written, and interpersonal communication skills

  • Ability to work independently while balancing the needs of multiple projects

  • Ability to be flexible and adjust plans quickly to meet changing business needs

  • Intermediate Microsoft Office (Word, Excel, and Outlook) skills

  • Ability to exercise independent judgment and creative problem solving techniques

  • Ability to interact with all levels of branch associates and business units; including managers and advisors

  • FINRA registration including Series 66 (or FINRA recognized equivalents)

  • FINRA registration including Series 9/10 (or FINRA recognized equivalents)

Job Expectations:

  • US Only: Registration for FINRA Series 9/10 and Series 66 must be completed within a 90 or 180-day time period contingent upon number of license(s) needed if not immediately available to transfer upon hire. FINRA recognized equivalents will be accepted. This will be communicated at time of offer acceptance.

  • US Only: Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority (FINRA) license(s) is required for ongoing employment in this position. In addition, state registration, specific product licenses or SAFE licensing may apply. Additional requirements include meeting enhanced financial fitness and criminal background standards. Wells Fargo will initiate the FINRA review process at the time of offer acceptance.

  • This role requires a FINRA supervisory license and may require working in the assigned office location for at least one year from the hire date. Any supervisory role employee holding a FINRA supervisory license, who has answered affirmatively to certain Form U4 Section 14 regulatory questions/disclosures, will be ineligible to work from a location other than their assigned office location.

This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check. Internal transfers are subject to comply with 17 CRF 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be subject to statutory disqualification. Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incidents.

This position is not eligible for Visa sponsorship.

Job Locations:

  • 550 S Tryon St. Charlotte, NC

  • 114 N Beaumont St. Saint Louis, MO

  • 550 S 4th St. Minneapolis, MN 55415

Pay Range


Reflected is the base pay range offered for this position. Pay may vary depending on factors including but not limited to achievements, skills, experience, or work location. The range listed is just one component of the compensation package offered to candidates.

$55,300.00 - $98,300.00

Benefits

Wells Fargo provides eligible employees with a comprehensive set of benefits, many of which are listed below. Visit Benefits - Wells Fargo Jobs for an overview of the following benefit plans and programs offered to employees.

  • Health benefits
  • 401(k) Plan
  • Paid time off
  • Disability benefits
  • Life insurance, critical illness insurance, and accident insurance
  • Parental leave
  • Critical caregiving leave
  • Discounts and savings
  • Commuter benefits
  • Tuition reimbursement
  • Scholarships for dependent children
  • Adoption reimbursement

Posting End Date:

29 Jun 2025
  • Job posting may come down early due to volume of applicants.

We Value Equal Opportunity

Wells Fargo is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran, or any other legally protected characteristic.

Employees support our focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture which firmly establishes those disciplines as critical to the success of our customers and company. They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions. There is emphasis on proactive monitoring, governance, risk identification and escalation, as well as making sound risk decisions commensurate with the business unit’s risk appetite and all risk and compliance program requirements.

Applicants with Disabilities

To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo.

Drug and Alcohol Policy


Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy to learn more.

Wells Fargo Recruitment and Hiring Requirements:

a. Third-Party recordings are prohibited unless authorized by Wells Fargo.

b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.

Save Apply
Report job
Other Job Recommendations:

Supervisory Customer Experience Associate

Army & Airforce Exchange Service
Oklahoma City, Oklahoma
$17 - $26 an hour
As a Supervisor in Hardlines, you will lead a team of passionate and knowledgeable Customer Experience Associates who strive to...
3 weeks ago

Supervisory Case Manager; Employment Programs

Volunteers of America Colorado
Colorado Springs, Colorado
$56,486 - $56,486
  • Travel throughout the program’s service area is required on...
  • Must be able to work in diverse and, at times, uncomfortable...
2 weeks ago

Supervisory Case Manager (3)

Volunteers of America Colorado
Denver, Colorado
$56,486 - $61,360
  • Models core culture attributes of VOACO that include "AIRS"...
  • Models and VOACO’s three critical virtues of HHS (Hungry,...
3 weeks ago

Supervisory Customer Experience Specialist (Firearms)

Army & Airforce Exchange Service
Johnson County, Missouri
$18 - $26 an hour
As a Supervisor in Hardlines/Firearms, you will lead a team of passionate and knowledgeable Customer Experience Associates who...
3 weeks ago

Summer Special Education Supervisory, Transportation/Classroom Aide, IT, Serving 2nd Grade Early Literacy Program

JEFFERSON COUNTY SCHOOLS
Jefferson County, West Virginia
  • Ability to effectively present information and respond to...
  • Ability to add, subtract, multiply, and divide in all units...
3 weeks ago